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Showing 331 - 340 of 3472 results for "Compliance"

BlackRock settles lawsuit for 'misleading consumers'

ANDREW MCKEAN  |  MONDAY, 20 JAN 2025
... environmental factors," he said. BlackRock has agreed to increase its disclosure of proxy voting practices and implement compliance measures, including audits by a third-party service to monitor adherence to the agreement's terms. BlackRock also committed ...

ASIC names new chief executive

MATTHEW WAI  |  FRIDAY, 17 JAN 2025
... three years ago, Scott's experience supporting digital and technology delivery, and his pedigree in enforcement and compliance, will continue to ensure ASIC is well placed to meet future challenges." Commenting, Gregson finds ASIC's characteristics "very ...

TPB welcomes stay of sanctions against disqualified agents

MATTHEW WAI  |  THURSDAY, 16 JAN 2025
... professional indemnity insurance coverage and misled investigators. Similarly, Kambourakis were found to have breached compliance obligations and made false statements. In the third case, Carslake and his firm Can Do Accounting Services fabricated false ...

The highest paying jobs in financial services: Data

ELIZA BAVIN  |  THURSDAY, 16 JAN 2025
... average salary of $360,000. Portfolio managers are bringing in an annual average salary of around $375,000. Risk and compliance managers are bringing in around $190,000 to $250,000 depending on the role. Financial planners earn anywhere between $95,000 ...

Research digs into HNW investment preferences

MATTHEW WAI  |  TUESDAY, 14 JAN 2025
... Australian advice industry is dealing with strong demand, an undersupply of advisers, shifting regulation and onerous compliance costs," Orrock said. "Platforms need to be on the front foot to enabling advisers to deliver a high touch service, access ...

Bennelong secures first trustee mandate

ELIZA BAVIN  |  TUESDAY, 14 JAN 2025
... to Bennelong being at the helm." Bennelong's new outsourced trustee service product aims to offer full oversight and compliance responsibilities for managed fund and other investment products. Bennelong said it would engage with service providers and ...

Sanlam Private Wealth breaches licensee obligations, hit with enforceable undertaking

MATTHEW WAI  |  MONDAY, 6 JAN 2025
... fintech services. Under the investigation, ASIC found several issues, including inadequate review processes to assess compliance for its representatives under financial services laws, limited risk management system, and lack of human resources and responsible ...

ASIC sues Binance over customer protection failures

ELIZA BAVIN  |  THURSDAY, 19 DEC 2024
... Australian financial services licence were provided efficiently, honestly, and fairly. "Our case alleges Binance's compliance systems were woefully inadequate and exposed more than 500 clients to high-risk, speculative products without the right consumer ...

Treasury flags $23bn in CGT benefits

ELIZA BAVIN  |  WEDNESDAY, 18 DEC 2024
... to the Petroleum Resource Rent Tax that will see the offshore LNG industry pay more tax, sooner, and improving tax compliance," Chalmers said. "The focus for us is we have some unfinished business when it comes to some of the tax measures that we've ...

FSCP reprimands two advisers for sloppy tax advice

KARREN VERGARA  |  MONDAY, 16 DEC 2024
... signed before implementing the advice. Mr. W also contravened sections 961B(1), 961G and 921E(3) and did not demonstrate compliance with Code of Ethics' values of diligence and competence and Standard 5.